Core Viewpoint - Shenzhen Luojia Investment Consulting Co., Ltd. has been penalized again for regulatory violations, indicating a failure to learn from previous sanctions [2][5] Group 1: Regulatory Violations - The Shenzhen Securities Regulatory Bureau issued a decision mandating Luojia Investment to rectify issues and suspend new client acquisition for six months due to false and misleading marketing content, inadequate investor suitability management, and insufficient internal controls [2][3] - Specific violations include misleading marketing, unauthorized stock recommendations by investment advisors, and reliance on third-party institutions for compliance tasks [2][4] Group 2: Company Background - Luojia Investment is one of the earliest third-party advisory firms, established in 1998, and claims to be a leading institution in the domestic consulting industry [3] - The company holds a Securities Investment Consulting Business License and a license for online audiovisual program dissemination from the National Radio and Television Administration [3] Group 3: Historical Context - Luojia Investment has a history of regulatory issues, having previously faced sanctions in early 2025 for multiple violations related to marketing and advisory services, resulting in a three-month suspension of new client acquisition [4][5] - The company's chairman, Chen Jie, was subjected to regulatory discussions due to these violations, and another employee faced similar measures for disseminating misleading information [4]
时隔仅一年又吃罚单,珞珈投资被暂停新增客户六个月
Nan Fang Du Shi Bao·2026-01-26 10:11